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Registered advisor
D•••• P••• D•••••
Feed of 09/14/2026
Also filed as D•••• P••• D•••••
At current firm
4 y
since Dec 2, 2021
In the industry
23 y
since Sep 8, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Dec 2, 2021 · Oxford, Pa
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJul 19, 2016 to Jan 2, 2018 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jul 12, 2016 · Oxford, Pa
- C••••• I••••••••• S••••••• L•• formerJun 30, 2006 to Jan 21, 2014 · Oxford, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDSep 24, 2003 to Jul 13, 2006 · West Chester, Pa
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Dec 2, 2021 (288 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to B••• I••••••••• S•••••••• I•••left Jul 12, 2016, registered Jul 19, 2016 (7 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• S••••••• L••left Jul 13, 2006, registered Jun 30, 2006 (-13 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address